alan b johnson financial disclosure report for 2010

8/3/2019 Alan B Johnson Financial Disclosure Report for 2010

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I AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Governm ent Act of 1978(5 U.S. C . app..~101-111)I. Person Reporting (last name, first , middle initial)JOHNS ON, ALAN B .

4. Ti t le (Art icle I I I judges indicate act ive o r senior s ta tus ;magistrate judges indicate full- or part-t ime)ACTIVE JUDGE, U .S . DIST. COURT

7 . C h a m b e r s o r Office Address2120 CA PIT O L A V E. , SU IT E 2018CH EYEN N E, W Y 82003

2. Court or Organizat ionDISTRIC T C OURT-WYOMING

3. Date of R e p o r t05/I 5/201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , D at e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

Re~e~sing Off icer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea Complete all parts,check ing the NONE box for each pa r t where you have no repor table in formation . Sign on las t page.

I . P O S I T I O N S . t R e p o ~ i . g indiv idua l on ly ; seepp. 9 -13 o f f i l ing ins truc tions . )~] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITYI. M E M B E R , S E C R E T A R Y / T R E A S U R E R , L O C A L D I SC U S S IO N G R O U F Y O U N G M E N S L I T E R A R Y C L U B2. F O R M E R M E M B E R ( R E T IR E D ) W Y O M I N G N A T I O N A L G U A R D , C H E Y E N N E , W Y O .3. FOR M E R M E M B E R B OA R D OF D IR E C T O R S C HE Y E NNE FR ONT IE R D AY S

4. M E M BE R , A D V ISO R Y B O A R D U NIT E D M E D IC AL C E NT E R , HOM E HE ALT H SE R V IC E S5. T R U ST E E T R U ST #2, See E xp lana tion and D escrip tion a t P a rt V III a nd P art V II

6. T R U S T E E TRU S T # 3 , S ee E x p l an a t i o n an d D esc r i p t i o n a t P ar t VIII a nd Pa r t V I I

7. T R U ST E E T R U ST #1, See E xp lana tion and D escrip tion a t P a rt V III a nd P art V II

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instruction~)NONE (No reportable agreements.)

DATEI.

2.3.

PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t i n gJOHNSON, ALAN B.

Date o f Report05115/201 I

I 1 I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17 -24 of f i l ing instructions.)A. Fliers Non-Investm ent Incom e~ (No reportable income.)ON E non-investment

D AT E SOU R C E AND T YP E

2,3,4.

INCOME(yours, not spouses)

B . S p o u s e s N o n - ! n v e s t m e n t ! n c o m e - t f y o u w e r e m a r r i e d d u r in g a n y p o r t i o n o f th e r e p o r t i n g ) ear, complete this section.(Dollar amount not required except for honoraria.)[~] N O N E (No reportable non-investment income.).

D AT E SOU R C E AND T YP EI. 2009 Lockheed M arlin C orp M aster R etirem ent T rust

2.3.4.

IV . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL(Includes those to spouse ~tnd dependent children." see pp. 2 5-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOU R C E D AT ES LOC AT ION

I.2.3.4.5.

P U R P OSE IT E M S P AID OR P R OV ID ED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 7


Date o f Report05/15/201 I

V . G I F T S . a n c l u d e s , h o s e t o ~ p o u s e o n d d e p o n d e n , children; s e e p p . 2 8 - 3 1 of filing instructions.)NON E (No reportable gifts.)

SOURCE DESCRIPTIONI.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e ~ those ofspouse and dependent chi ldren; see pp. 32-33 of f i l ing ins truct ions .)N O N E (No reportable l iabil ities.)

CREDITOR DESCRIPTION1.

2.

3.

4.

5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 7 Ia m e o f P e r s o n R e p o r t i n gJOHNSON, ALAN B. D a t e o f R e p o r t05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those o f spouse a nd dep enden t childrensee pp. 34-60 of fi l ing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod

(~) (2)Place "(X)" after each asset A m o u n t Type (e.g.,exempt fromprior disclosure Code I div. , ren t ,

( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)

V a lu e V a lu eC o d e 2 M e t h o d

(J-P) C o d e 3( Q - W )

(J )Type (e.g.,buy, se l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)Date V a l u e Gain

m m / d d / y y C o d e 2 Code I(J-P) ( A - H )

(5 )Identity of

buyer/seller(if private

t r a n s a c t i o n )

1. TRU S T # 1 A Int./Div. M

2. CHASE INVESTMENT SERVICES lnt./Div. K

3. CHASE BANK ACCTS M

4. TRUST #2 D I n t e r e s t J5. -AMERICAN NATL BANK ACCOUNT A I n t e r e s t J

6. -W ELLS FARGO BANK ACCOUNT A I n t e r e s t J

7. TRUST #3 C Int . /Div. M8. -EXCEL ENERGY, INC. B Dividend9. -AMERICAN NATL BANK ACCOUNT F L

Sold 12/15/10 K

1 0 . -FIDELITY BROKERAGE SERVICES D Int./Div. M

1 1 . -FIDELITY SHORT-INTER MUNI B DividendINCOME1 2 . NEW Y ORK LIFE INS. WH OLE LIFE C Dividend L

Sold 12/15/10 L

1 3 . UNITED SERVICES AUTO ASSOC. A Distribution J1 4 . W YOMING DEFERRED COMP. C Int./Div. NW YOMING RETIREMENT SYSTEM 457DEFFER1 5 .

Distributed 11/15/10( p a r t )

1 6 .

1. Incom e Gain Codes: A = $1,000 o r less B = $1.0~1 - $2,5 00 C = $2,501 - $5 ,000(See Column s B I and I)4 ) F = $ 50.001 - $ 100,000 G = $ 100,001 - $ 1,0~0,000 H I = $ 1.000.001 - $5.00~,0~)

2. Value Codes J = $15,000 or less K = $15.001 - $50,000 L =$50.001 - $ 100.0~0( See C ol umns C I and D 3) N = $25 0.001 - $500,000 O = $5 00,001 - $1,000,000 PI =$1.000,0Ol - $ 5 ,000,090

P3 $ 25,000.(Ki I o $ 50.00&000 P4 = M ore than $50,000.0~)3. Value Method Codes Q =Appraisal R - Cos t (R ea l Es ta te O n ly ) S =As~cssmcnl(See Co lumn C2) U = Book Va lue V = O ther W = Es t ima ted

= $ 5 , 0 0 1 - $ 1 5 , 0 0 0H2 =More than $5.000.0~0M =$100,001 - $250.000P2 =$5 ,090,0~1 - $25.000.0~0

= Cash Marke t


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FINANCIAL DISCLOSURE REPORTP a g e 5 o f 7


D a t e o f R e p o r !05/15/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, I .... a c t i o n s ( I n c lu d e s t h o s e o f s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)NONE (No reportable income, assets, or transactions.)

Description of Assets Income dur ing(including trust assets) reporting period

(I) (2)Place "(X)" after each asset Amount Type (e.g.,

exempt from prior disclosure Code I div., rent,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a l u e V a l u eC o d e 2 M eth o d(J-P) C o d e 3

( Q - W )

O)Type (e.g.,buy, sell ,

redemption)

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)Date V a l u e G a i n

m m / d d / y y Code2 C o d e 1(J-P) (A-H)

(5 )I d e n t i t y o f

buyer / se l le r( i f pr ivate

t ransact ion)

1 7 .

1 8 .

1 9 .

20 .21 .

I . Income Gain Codes : A =$ 1,000 o r less B = $ 1,001 - $2,500 C = 5 2,501 - $5 .000 D =$5,0~1 - $15.000( Sec Columns B I a nd IM ) F =550,001 - $ 100,000 G = $100,0~ I - 51,000,0~0 H 1 = $ 1,000,001 - $ 5 .00~ ,000 H 2 = More than $ 5,00~.0(~

2. Value Codes J =$15.0OQ or less K = $15,0~1 - $50,0~0 L = $50,0~1 - $100,000 M = $100,0QI - $250.000( sec C ol umns C I and D 3) N =5250.001 - 5500,0~0 O =5500,001 - $1,000,000 PI =51,000,001 - $5,000,000 P2 =$5,000,001 - $25.000,000

P3 =$25.000.001 - $50.000,000 P4 =M ore than $50,000.0003. V alue M ethod Codes Q = Appraisal R =Cost (Real Estate Only) S =Assessment T = Cash Marke t

( See C ol umn C 2 ) U = Book Va lue V -Othe r W =E:,tima~cd

E =$15,0~1 - $50.000


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Date o f Report05/I 5/2011

V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of repor~.)Ch e ye nne Fron t i e r D a ys i s a non - p ro f i t co rpo ra t ion th a t o rga n ize s a nd s pons o rs a nd xve e k - long w e s te rn ce l e bra t ion a nd rode o fo r th e be ne f i t o f t h e com muni ty .T h rough th e O ld W e s t Mus e um i t a l s o s e e k s to co l l e c t a nd p re s e rve h i s to r i ca l ma te r i a l f rom th i s r e g ion a s w e l l a s a co l l e c t ion o f h i s to r ica l c a r r i a ge s a nd pe r iodc lo th ing . T h e Boa rd o f D i re c to r s r e v ie w s th e ope ra t ion a nd m a na ge m e n t o f th e o rga n iza t ion to i n s u re th a t t h e mis s ion a nd ob je c t ive s a re fo l low e d . My t e rm o fservice on the Board of Directors ended on October 4, 2008.

United M edica l Cente r is the loca l hospi ta l organiza t ion. The prov is ion of nu rs ing and care se rv ices to pa t ients in the ir homes is one of the se rv ices prov idedthrough United M edica l Cente r . As par t of the concern for the qua l i ty of pa t ient ca re mem bers of the public as wel l as medica l profess iona ls have been placed o nan advisory boa rd , wh ich mee ts pe r iod ica l ly .The Federa l Judges Associa t ion is an organiza t ion comp osed of Federa l Judges . I ts ob jec t ives a re to seek to improve the sa la ry , benefi ts , and work ing condi t ionsof the Federa l j udic ia ry th rough educa t iona l programs, suppor t of legis la t ive in i t ia tives and work ing c lose ly with the Adm inis t ra tive Off ices of Uni ted Sta tesCour ts . The organ iza t ion i s suppor ted by the vo lun ta ry payment o fdues by i t s m embers . I am cur ren t ly the r epre sen ta t ive f rom my c i r cui t on the boa rd and r epor tto the judges in m y c ircu i t . My se rv ice as a C ircu i t r epresenta t ive to the Federa l Judges Associa t ion ended in 2007.I have de le ted Liv ing Trust #1 f rom V II Investments and Trusts because i t i s a f inancia l veh ic le tha t was dur ing the repor t ing per iod sole ly under the con trol of

I t conta ined f inan cia l in te res ts tha t a re the sole f inancia l in te res ts and resp ons b ty o~ :~ . i i i . i~ i~~ N o p o r t i o n o f t h e t r u s t i s d e r iv e d f r o m m y a s se t s ,income or ac t iv i t ies o r those o I have no know ledge o f the f inanc ia l t ransac t ions o ther having been to ld that i t was c reated and what the approxim ateva lue is . Dur ing the repor t ing per iod I d id not d er ive or expect to der ive a benef i t f rom the t rus t . See le t te r f rom C omm it tee on Financia l Disc losu re , da tedAugust 8, 2008.The Amer ican Col lege of Tr ia l Lawyers is a na t iona l organiza t ion of lawyers , who a re dedica ted to suppor t and im prove cour ts in the United Sta tes and to mainta inh igh s tandards of profess iona l cond uct with in the prac t ice of law. Among the m any ac t iv i t ies under the auspices of the organiza t ion is an annua l mee t ing w hichwas he ld in Ju ly , 2005 a t Grand T e ton Nationa l Park , Jackson, Wyoming. I was inv i ted to a t tend and speak a t the conference on env ironmenta l issues conf ront ingthe federa l cour t in Wyoming and the region. A f ramed wildl i fe photograph was p resented to each of the speakers . I d id not a t tend any funct ion of Ihe Amer icanCol lege o f Tr ia l Lawyee r in 2006 , and an t ic ipa te tha t my pa r t ic ipa t ion was a on ly fo r the purpose o f p re sen t ing the educa t ion p rogram in 2005 .In Par t VII I have un intent iona l ly om it ted re fe rence in past y ears to a pa id p ol icy of whole l i fe insu rance on m y l i fe with New York Life Insu rance Company . NewYork Life Insu rance and the Cash V alue has been l is ted to cor rec t th is e r ror .Trust #2 and Trust #3 were created to implement premarita l and esta te planning. I t is anticipated that additional assets will be placed in the trusts in the future .Trust #2 holds and co ntrols i tems 2 and 3 , bank accounts a t Amer ican Nationa l Bank and Wells Fargo Nationa l Bank , Par t VII . T rust #3 holds and controls i tems4 , 6 and 7, the Xce l Energy shares , the Amer ican Nationa l Bank account , and the Fide l i ty Cash R eserves account respect ive ly . These l ist ings have been expressedin the aggrega te method in Par t VII .The First Intersta te Bank account was closed when the mortgage on ,)~i~ii~i~ ~i~ was paid in full during the reporting period (2007).Wyom ing Defer red Com pensa t ion P lan is a program for Sta te Emp loyees to deposi t ea rnings for defe r red tax investment . I r ece ive repor ts ent it led W;yomingRet i rement System 457 Defer red Comp ensa t ion P lan c /o Grea t West Re t i rement . There are var ious opt ions tha t an employee m ay use for investment . Mycontr ibut ion is present ly in what is ca l led Stable Value Fund which has the s ta ted purpose o f prese rv ing the va lue of the investment with f ixed incom e secur i t ies ,U.S. Treasu ry debt , and corpora te based mor tgage debt ins t ruments . In 2010 i t became incom bant upon the unders igned to take dis t r ibu t ions f rom th is p lan andpay tax on the income. I f a l l goes as d irec ted, a sum w il l be withdrawn each y ear and wil l be taxed.Young M ens Li te ra ry C lub is a smal l organiza t ion ( less than 50 inc luding ho norary and em er i t i) tha t mee ts weekly dur ing the Fa l l , Winte r and Spr ing to d iscusscur rent events and rev iew ass igned papers . The organiza t ion has ex is ted for the past 110 years . The Secre ta ry/Treasu re r rece ives nom ina l dues for rent of themeet ing room and keeps m ee t ing minu tes tha t a re deposi ted and preserved in the Sta te Archives .In 2010 the dea th of a fam ily mem ber resu lted in Trust #1 becoming ac t ive and the appointment o f the unders igned as t rus tee for pu rposes o fdis t ribu tion of thecash in var ious accounts a t Chase Bank. For tha t reason Trust #1 is now l is ted.


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Name of Person Repor t ingJOHNSON, ALAN B.

Date of Report05/15/201 I

IX. CERT IFICATION.1 c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c ura t e , t r ue , a nd c om pl e t e t o t he be s t o f my k nowl e dg e a nd be l i e f , a nd t ha t a ny i n fo rm a t i on no t r e po r t e d wa s wi t hhe l d be c a use i t me t a pp l i c a b l e s t a tu t o ryp rov i s i ons pe rmi t t i ng non -d i sc l o su re .I f u r t he r c e r ti f y t ha t e a rne d i nc ome f rom ou t s i de e m p l o )~ne n t a nd ho no ra r i a a nd t he a c c e p t a nc e o f g i f t s whi c h ha ve be e n r e po r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] A L A N B . J O H N S O N

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F AL S IF I E S OR F A I L S T O F IL E T H I S RE PO RT M A Y BE S U BJ E C T T O C I V I LAND CR IMINAL SANCTIONS (5 U .S.C . app. 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

alan b johnson financial disclosure report for 2010

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